Lawsuits

Genevieve Sisco alleges that men in the same role as her earned tens of thousands of dollars more in salary.

For at least seven years, the company has sought to recoup more than $5.4 million in taxes using an exemption the agency argues does not apply.

Regulators allege the CPA provided an air of legitimacy to John J. Woods' scam that defrauded 400 clients in 20 states.

The action in federal court alleges the exiting advisors received an incentive package worth as much as $70 million for joining RBC.

Other states are likely to look to Massachusetts for guidance on how far they can go in holding broker-dealers to a higher standard than Regulation Best Interest.

Mario Rivero pleaded guilty in February to swindling five clients out of more than $600,000.

Extra diligence on the advisor's end can help HNW clients avoid potentially disastrous lawsuits

James Tuminello argues in court documents that he only reached out to clients he formed with relationships before joining the large wirehouse.

Missouri requires brokers who recommend investing on environmental, governance or social principles to sign statements saying they "are not solely focused on maximizing" returns.

Popular online brokerage has paid $175 million to resolve recent actions by federal and state regulators.

The regulator's court victory wraps up years of litigation against a financial planner accused of defrauding at least nine clients of more than $1 million.

The plaintiffs plan to argue the current system deprives them of their right to a jury trial in cases involving securities allegations.

The principals at Legend Venture Partners stand accused of making millions by offering shares in pre-IPO companies without disclosing markups to investors.

The bank will pay $290 million over allegations that it didn't do enough to stop disgraced financier.

The former relationship manager has pleaded not guilty to allegations he blew money from client accounts on bad stock bets.

The former advisor faces as many as 10 years in prison for stealing roughly $1.7 million from relatives' brokerage accounts to pay for trips, cruises and other personal expenses.

Dennis B. Levine, a central player in the 1980's most notorious insider trading scheme, benefits from the regulator's fix, but so will some everyday financial planners.

Federal officials have long warned of the dangers of accounts with few guardrails on what they can invest in.

North Carolina stood accused of taking in $7.2 million from 13 victims over course of decade.

Joseph DeGregorio promised a 13% return on promissory notes that never existed.